There are options for clients of Rockefeller Financial LLC broker James Ratigan Jr. (CRD# 2164078), who is accused of misrepresentation. He has been registered with Seabrook Partners LLC in Doral, Florida, since March 2026. He was registered with Rockefeller Financial LLC in New York, New York, from 2021 to 2026, SVB Leerink LLC in New York, New York, from 2016 to 2021, and Deutsche Bank Securities Inc. in New York, New York, from 2009 to 2016.
James Ratigan Jr. Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
December 2025. “Time Frame: November 2021 to December 14, 2024. What were the allegations against the individual – The client’s attorney alleges various misrepresentations. The client’s attorney further alleges that the representative failed to disclose outside business activities within the meaning of FINRA Rules.” The case is currently pending. The complaint took place while he was registered with Rockefeller Financial LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Rockefeller Financial LLC may be liable for investment or other losses suffered by James Ratigan Jr.’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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